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Griffin Young Knowlton

Rockefeller Financial LLC

New York, NY

Boston, MA

CRD 5479260

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Employer firm

Rockefeller Financial LLC CRD 291361

$99.6B regulatory AUM 223 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2021-05-25
TX RA APPROVED 2021-05-14
  • MA RA
    APPROVED
    Since 2021-05-25
  • TX RA
    APPROVED
    Since 2021-05-14

Branch Locations

45 Rockefeller Plaza, New York, NY 10111 • United States

115 Federal St, Floor 23, Boston, MA 02110 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Inc. Boston MA 12/2009 05/2021
Rockefeller Financial Llc Boston MA 05/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-07-22
  • S66 Uniform Combined State Law Examination
    2010-07-22
Other Names
  • Griffin Young Knowiton

View on SEC IAPD

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